Carl Ayers
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements relating ...
Questions about how firms value portfolio companies continue to crop up in SEC exams of private equity firms, multiple sources tell our sister publication, Buyouts. ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend Commission Rule 50.4(a) to establish a new clearing requirement under the pertinent section ...
The Securities and Exchange Commission is adopting Rules 15Fi-1 and 15Fi-2 under the Securities Exchange Act of 1934 requiring security-based swap dealers and major security-based ...
The Commodity Futures Trading Commission is adopting final regulations relating to swap data reporting in connection with cleared swaps for swap data repositories (“SDRs”), derivatives ...
The compliance job can resemble a rerun of your favorite TV show. You’ve seen it before but you can’t turn away. Take educating sales ...
Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their prospects. ...
FINRA is focusing on 15 large broker-dealers as part of its review of firm culture—but all firms facing a regular exam this year should be ...
The clock is ticking when it comes to the first phase of implementing the Department of Labor’s fiduciary rule. What should you be doing now ...
Attending Harvard University offers no guarantees that you can survive in the rough and tumble world of highly leveraged futures and forex trading. Just ask ...